James J. Sewell
Professional summary
James Joseph Sewell III, who also goes by Jim Sewell, Jj Sewell, is a registered financial advisor currently at CAPITAL CLIENT GROUP, INC. located in Austin, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Sewell III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Sewell III's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 1, 2013 - Present
CAPITAL CLIENT GROUP, INC.
Office #2: 3500 Wiseman Blvd, San Antonio, TX 78251-4321February 14, 2003 - Present
CAPITAL CLIENT GROUP, INC.
Office #1: 3500 Wiseman Blvd, San Antonio, TX 78251-4321February 26, 2002 - February 10, 2003
EDWARD JONES
February 22, 2002 - March 7, 2002
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 26, 1999 - February 26, 2002
EDWARD JONES
July 15, 1998 - February 16, 1999
BA INVESTMENT SERVICES, INC.
December 18, 1996 - October 29, 1997
BA INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/15/2003)
(1/17/2018)
(7/14/2009)
(10/1/2013)
(4/4/2025)
(1/17/2018)
(1/17/2018)
(1/17/2018)
(1/17/2018)
(1/17/2018)
(1/17/2018)
Exams
FINRA
Current Firm
CAPITAL CLIENT GROUP, INC.
CRD#: 6247 / SEC#: 801-77946, 8-17168
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | STOCKHOLDER | |
| AGUILAR, ALBERT JR | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, DIRECTOR | 5106724 |
| BURTON, RENE MARGARET | TREASURER, FINANCIAL OPERATIONS PRINCIPAL, VICE PRESIDENT, DIRECTOR | 1956766 |
| MCHALE, TIMOTHY WILLIAM | SECRETARY | 4244021 |
| O'CONNOR, MATTHEW PHILIP | CHAIRMAN & CHIEF EXECUTIVE OFFICER, DIRECTOR | 2427203 |
| PIKEN, KEITH ALAN | SENIOR VICE PRESIDENT, DIRECTOR | 2576730 |
| TRIESSL, MICHAEL JAMES | DIRECTOR | 3060797 |
Red Flags
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